SEC Form 4 · accession 0001537435-17-000021
TECOGEN INC. · TGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Panora
Officer — COO and President
Period of report
Sep 12, 2016
Accepted (ET)
Mar 23, 2017 · 4:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001537435
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 12, 2016 | J | 12,500 | $0.00 | D | 150,850 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $0.786 | holding | — | — | — | May 12, 2016 | May 12, 2026 | Common Stock | 12,723 | 12,723 | D |
| Stock Option (Right to Buy)F2 | $2.60 | holding | — | — | — | — | Feb 14, 2021 | Common Stock | 125,000 | 125,000 | D |
Explanation of responses
- F1This was an involuntary and exempt transaction that was made pursuant to a divorce decree. It is now being voluntarily reported to correct the reporting person's ownership.
- F2The option becomes exercisable in four equal installments on February 15, 2012, 2013, 2014 and 2015.